隐名股东股权转让问题研究

发布时间：2018-06-28 05:47

本文选题：隐名股东 + 股东资格　；参考：《华东政法大学》2011年硕士论文

【摘要】：在经济活动中,隐名投资现象广泛存在,《最高人民法院关于适用〈中华人民共和国公司法〉若干问题的规定(三)》针对这种现象作了较为详细的规定。在隐名投资情形下,公司相关文件中记名的人与实际出资人相分离。这种“名实分离”的存在,极易引起纠纷,在涉及到第三人时尤其如此。由于隐名股东或显名股东擅自转让股权予第三人而引起的纠纷,集中体现了隐名投资的复杂性。这类纠纷,不仅牵涉到公司法关于股权转让的规定,更重要的是涉及到隐名股东股东资格的确认,这个无论在司法实践还是学界讨论中都是令人困惑的难题。这类纠纷由于关涉到公司外的第三人,又带出保护真正权利人的利益与保护善意第三人的利益这对矛盾。本文分三部分论述,第一部分概括了隐名股东的基本理论和法律规定;第二部分主要是对隐名股东与相关利益主体之间的法律关系的论述;第三部分将隐名投资情形下的股权转让纠纷分为显名股东向第三人转让股权引起纠纷和隐名股东向第三人转让股权引起纠纷两种类型进行论述。本文在阐述观点时采用了比较分析的方法,从比较分析中理解学界目前对同一问题的不同解决方法,对不同学说之间进行介绍和对比。通过比较分析的方法,在隐名股东股权转让这一问题的研究中,笔者在分析“协议型隐名股东与显名股东之间的法律关系”时,认为“显名股东与隐名股东之间为一种类似于信托的法律关系”,较之前学界存在的消费借贷合同、委托合同等观点,无疑更具合理性。在讨论隐名股东基本理论和隐名股东与其他主体法律关系的基础上,联系最新出台的司法解释,遵循保持各方主体的利益平衡、维护公司组织法律关系的稳定性、优先保护善意第三人的利益、体现商法的公示主义和外观主义及制裁法律规避行为等原则的基础上,结合笔者亲身经办的案例,对如何处理此类纠纷提出了自己的看法。此外,由于笔者水平有限,对于论文不足的地方,有待于在今后的实践中继续加以研究,以期得到更为完整而有意义的成果。
[Abstract]:In economic activities, the phenomenon of anonymous investment is widespread, and the provisions of the Supreme people's Court on the application of the Company Law of the people's Republic of China (3) make more detailed provisions for this phenomenon. In the case of anonymous investment, the person registered in the company's related documents is separated from the actual investor. The existence of this separation of name and substance can easily cause disputes, especially when it comes to the third party. The disputes caused by the unauthorized transfer of shares to the third party by hidden shareholders or obvious shareholders reflect the complexity of anonymous investment. This kind of dispute involves not only the provisions of the Company Law on the transfer of shares, but also the confirmation of the qualifications of dormant shareholders, which is a puzzling problem in both judicial practice and academic discussion. This kind of dispute involves the third party outside the company and brings out the contradiction between protecting the interests of the real right holder and protecting the interest of the bona fide third party. This paper is divided into three parts: the first part summarizes the basic theory and legal provisions of dormant shareholders, the second part mainly discusses the legal relationship between dormant shareholders and related stakeholders. In the third part, the disputes of equity transfer under the situation of dormant investment are divided into two types: the disputes caused by the transfer of equity to the third party by the explicit shareholders and the disputes caused by the transfer of the equity to the third party by the dormant shareholders. In this paper, the method of comparative analysis is used to explain the point of view, from which we can understand the different solutions to the same problem in academic circles, and introduce and compare the different theories. Through the method of comparative analysis, in the study of the issue of the transfer of share-holders, the author analyzes the legal relationship between the dormant shareholders and the explicit shareholders. The author holds that "the legal relationship between explicit shareholders and dormant shareholders is similar to trust", which is more reasonable than the previous viewpoints such as consumer loan contract and entrustment contract. On the basis of discussing the basic theory of dormant shareholders and the legal relationship between hidden shareholders and other subjects, and in connection with the newly issued judicial interpretation, it follows to maintain the balance of the interests of all parties and to maintain the stability of the legal relations of companies. On the basis of giving priority to protecting the interests of bona fide third parties, embodying the principles of publicalism and outward appearance of commercial law and sanctioning the circumvention of law, the author puts forward his own views on how to deal with such disputes. In addition, due to the limited level of the author, for the lack of papers, we need to continue to study in the future practice, in order to obtain more complete and meaningful results.
【学位授予单位】：华东政法大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D922.291.91

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